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Rule G-28
Last Updated:
02/24/2003
Transactions with Employees and Partners of Other Municipal Securities Professionals
Rule Summary: Establishes requirements for dealers who open accounts or effect transactions in municipal securities for a customer who is known to be an employee or partner of another dealer.
Rule for:
Dealers, Bank Dealers, Municipal Fund Securities
Status:
SEC Filing (06/18/2026)
Proposed Rule Change Consisting of Amendments to MSRB Rule G-28, on Transactions with Employees and Partners of Other Municipal Securities Professionals, to Harmonize and Better Align with FINRA Rule 3210, on Accounts at Other Broker-Dealers and Financial Institutions
Notice (06/18/2026)
MSRB Amends Rule G-28, on Transactions with Employees and Partners of Other Municipal Securities Professionals, Consistent with FINRA Rule 3210, on Accounts at Other Broker-Dealers and Financial Institutions
